Associate Handbook 2018

 Breach of Lockton’s policies and procedures in relation to preventing bribery and corruption.

Breach of confidentiality.



 Deliberate harassment, discrimination or bullying of Associates, customers, clients or suppliers on race, sex, age, sexual orientation, religion, disability or any other discriminatory grounds.

7.2

Informal Counselling

Poor performance or minor incidents of misconduct will normally be dealt with in the first instance by Associate’s Manager giving informal counselling or advice. This does not constitute part of the formal disciplinary procedure and will not be recorded on an Associate’s personnel file. Managers will, however, keep a diary note of the date, circumstances, and advice given.

7.3

Disciplinary Procedure

The procedure applies to all Associates. It does not apply to agency workers or self- employed contractors. It does not apply to cases involving proposed redundancies.

The normal stages of the formal disciplinary procedure are as follows:

Stages

Valid Up to 6 months 9 months 12 months

Formal Verbal Warning First Written Warning Final Written Warning

Dismissal

Warnings will remain valid for a specified length of time, which will be decided according to the seriousness of the case. The timescales are generally as outlined above.

No disciplinary action will generally be taken against Associates until the matter has been investigated. Depending on the circumstances this may be at the disciplinary meeting itself or at one or more prior investigatory meetings. Associates will be informed in writing of the allegations against them. They will then be interviewed and given the opportunity to respond before any final decision is made. The Company may suspend Associates during the investigation in accordance with paragraph 7.6 below. Associates may be accompanied by a fellow Associate or a recognised Trade Union representative during any disciplinary meeting. Associates must notify the Company in writing of the name of their chosen companion, if any, before the meeting. Rights to be accompanied do not apply to investigatory meetings although this facility may extend to Associates at the Company’s discretion. The Company will arrange a date for the meeting to take place. If an Associate’s chosen companion cannot attend, Associates can offer an alternative time and date so long as it is reasonable and falls within 5 working days after the date proposed by the Company. The chosen companion will be able to address the hearing, put forward the Associate’s case, sum it up, respond to any view expressed at the hearing and confer with the Associate, but cannot answer questions on the Associates behalf. Associates will be notified of any decision in writing and will also be informed of their right to appeal against that decision and advised of the procedure to follow when making an appeal.